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JJ

James F. Johnson

USA FINANCIAL SECURITIES LLC
Pawleys Island, SC 29585
Some features on this profile are disabled
CRD#: 1065544
JJ

Professional summary

James Franklin Johnson JR, who also goes by James Franklin Johnson, James Johnson Jr, Jim Johnson Jr, is a registered financial advisor currently at USA FINANCIAL SECURITIES LLC located in Pawleys Island, South Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Franklin Johnson | James Johnson Jr | Jim Johnson Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
JFJ FINANCIAL GROUP, LLC - 8 COURTYARD CIRCLE, PAWLEY'S ISLAND, SC 29585. OWNER, ANNUITY MARKETING AND SALES. INVESTMENT RELATED. 60 HOURS PER MONTH DEVOTED TO BUSINESS. 40 HOURS PER MONTH DEVOTED DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Franklin Johnson JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Franklin Johnson JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 30, 2013 - Present

USA FINANCIAL SECURITIES LLC

Office #1: 8 Courtyard Circle, Pawleys Island, SC 29585
RIA
BD
CRD#: 103857
Pawleys Island, SC
Current

January 30, 2013 - Present

USA FINANCIAL SECURITIES LLC

Office #1: 8 Courtyard Circle, Pawleys Island, SC 29585
RIA
BD
CRD#: 103857
Pawleys Island, SC
Past

October 7, 2010 - December 31, 2012

CENTAURUS FINANCIAL, INC.

RIA
CRD#: 30833
BURLINGTON, NC
Past

October 7, 2010 - December 31, 2012

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
BURLINGTON, NC
Past

April 18, 2007 - October 8, 2010

VERITY INVESTMENTS, INC.

RIA
CRD#: 41527
BURLINGTON, NC
Past

February 8, 2007 - October 8, 2010

VERITY INVESTMENTS, INC.

BD
CRD#: 41527
BURLINGTON, NC
Past

September 20, 1982 - January 29, 2007

PFS INVESTMENTS INC.

BD
CRD#: 10111
GREENSBORO, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)
California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR
Florida
(3/18/2024)
RR
New York
(3/4/2013)
IAR
New York
(4/22/2025)
RR
North Carolina
(1/30/2013)
IAR
North Carolina
(1/30/2013)
RR
South Carolina
(6/22/2016)
IAR
South Carolina
(6/22/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/1/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/16/1982
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/3/1988
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UF
USA FINANCIAL SECURITIES LLC
USA FINANCIAL | USA FINANCIAL SECURITIES LLC | USA FINANCIAL SECURITIES CORPORATION | USA FINANCIAL ASSET MANAGEMENT

CRD#: 103857 / SEC#: 801-68276, 8-52342

RIA
Registered Investment Advisory firm - SEC (8/24/2007 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (9/12/2007 Terminated)
California
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Colorado
Registered Investment Advisory firm - SEC (9/28/2007 Terminated)
Connecticut
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Delaware
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Florida
Registered Investment Advisory firm - SEC (10/11/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Illinois
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Iowa
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kansas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (8/31/2007 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (9/6/2007 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (9/5/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (9/19/2007 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Ohio
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
Oregon
Registered Investment Advisory firm - SEC (8/24/2007 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (9/29/2007 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Utah
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (8/30/2007 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
6020 East Fulton, Ada, MI 49301
Mailing Address
6020 East Fulton, Ada, MI 49301
Phone number
(888) 407-8198
Established
Delaware since 07/03/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
166

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

USA FINANCIAL SECURITIES PART 2A BROCHURE (9/22/2025)
USA FINANCIAL SECURITIES WRAP FEE BROCHURE (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
USA FINANCIAL LLCOWNER
BACHERT, WILLIAM CLAYTONCHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL (PRIMARY)/MUNICIPAL PRINCIPAL/DIRECTOR4576698
ENDERS, BRENT DAVIDPRESIDENT/DIRECTOR/TRUSTEE OF BRENT D. ENDERS TRUST U/A DTD 06/17/20042858719
MCCONNELL, JAMES CARROLL JRCHIEF OPERATIONS OFFICER4679140
MERSMAN, MARK ROBERTCHIEF MARKETING OFFICER4702400
THOMASON, DAWN MCHIEF COMPLIANCE OFFICER5275125
WALTERS, MICHAEL DAVIDCHAIRMAN OF THE BOARD/CHIEF EXECUTIVE OFFICER/DIRECTOR/TRUSTEE OF THE MICHAEL D. WALTERS TRUST U/A DTD 3/13/19962580592

Regulatory assets under management

Total Number of Accounts1,750
AUM (Assets Under Management)$ 301,510,438

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

USA FINANCIAL SECURITIES LLC

CRD#: 103857Pawleys Island, SC 29585

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